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New Zealand Legislation: Regulations

Regulations are laws made under Acts

Reprint as at 10 April 2008

Securities Regulations 1983

(SR 1983/121)

Note

Changes authorised by section 17C of the Acts and Regulations Publication Act 1989 have been made in this eprint.

A general outline of these changes is set out in the notes at the end of this eprint, together with other explanatory material about this eprint.

These regulations are administered in the Department of Justice.

PURSUANT to section 70(1) of the Securities Act 1978, His Excellency the Administrator of the Government, acting by and with the advice and consent of the Executive Council, and in accordance with a recommendation of the Securities Commission, hereby makes the following regulations.

Contents

1 Title and commencement

2 Interpretation

2A Exemption for term life insurance policies

2B Meaning of call building society share and call debt security

2C Meaning of small employer superannuation scheme [Revoked]

Part 1
Prospectuses

Content of registered prospectuses

3 Matters to be contained in full registered prospectus

4 Short form prospectus

5 Further provisions relating to content of registered prospectus

6 Restrictions imposed by Part 3 on content of registered prospectus

Registration of prospectus

7 Documents to be attached to prospectus delivered for registration

Part 1A
Investment statements

7A Matters to be contained in investment statement

Part 2
Advertisements

Content of advertisements

8 Misleading information

9 Advertisements to be consistent with prospectus or disclosure statement

10 Application forms [Revoked]

14 Unsecured and secured securities

15 Restrictions on distribution of certain advertisements

16 Restrictions imposed by Part 3 on content of advertisements

17 Restrictions on distribution of certain advertisements

Part 3
Restrictions on content of registered prospectuses and advertisements

18 Shareholders' names

19 Authorised trustee investments [Revoked]

20 Statements as to safety

21 Interest rates and taxation of interest

22 Mortgage debentures

23 Listing securities on registered exchange's market

Part 3A
Request disclosure

23A Information to be disclosed by issuers on request

Part 4
Content of trust deeds and deeds of participation

24 Clauses deemed to be contained in trust deeds

Deeds of participation

25 Contents of deeds of participation

26 Clauses deemed to be contained in deeds of participation

Part 5
Miscellaneous provisions

27 Form of declaration of non-disclosure

27A Prescribed rate of interest

28 Transitional provisions

Schedule 1
Matters required in registered prospectus for equity securities

Schedule 2
Matters required in registered prospectus for debt securities

Schedule 3
Matters required in a registered prospectus for participatory securities

Schedule 3A
Matters required in registered prospectus for unit trusts

Schedule 3B
Matters required in registered prospectus for life insurance policies

Schedule 3C
Matters required in registered prospectus for superannuation schemes

Schedule 3D
Matters required in investment statements

Schedule 4
Certificate in respect of advertisements

Schedule 5
Clauses deemed to be contained in trust deeds

Schedule 6
Matters to be specified in deeds of participation

Schedule 7
Clauses deemed to be contained in deeds of participation

Schedule 8
Declaration of non-disclosure

Explanatory note

Gazette information

Securities Amendment Regulations 2007

Securities Amendment Regulations 2008